James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…
read moreDarryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…
read moreKimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…
read moreJon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne ) ,a stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…
read moreFraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…
read moreHeath Goldstein Investigation April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein, a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…
read moreRobert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of Robert D’Agosta, an IBN Financial Services, Inc. broker, disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…
read moreHorizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…
read moreRobert Melberth Investigation March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth, a broker employed by Emerson Equity, discloses multiple customer disputes seeking more than $12 million in damages.…
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